The Sector Skills Council for
the places in which we live and work
PRODUCT CODE: AS0080
Essential Information For Landlords and Agents
HHSRS
(Housing Health & Safety Rating System)
Housing Act 2004 Part 1
Commencement Date 6th April 2006
The Housing Act 2004 has introduced a new way to assess
the condition of homes in England and Wales.
Within the Act, the Housing Health and Safety Rating System is a risk
assessment approach to assess hazards to health and safety in dwellings,
and on which remedial and enforcement action can be taken if necessary.
Written and devised to be freely available as a download to
members of the following organisations from www.assetskills.org or
from their own organisations website:
Note: hard copy versions may be purchased from Asset Skills Exeter office.
A price list is available.Tel: 01392 423 399
The Housing Health and Safety Rating System in practice
This guide has been produced in co-operation with, and with the agreement
of, the Office of the Deputy Prime Minister. The Office collaborated in the
production of the text. However, this document is just a guide. The only
definitive reference documents are the Housing Act 2004 and government
guidance and only the courts can interpret the Act.
What is the Housing Health and Safety Rating System?
The Housing Act 2004 has introduced a new way in which local authorities
("councils") assess housing conditions in England and Wales. It uses a risk
assessment approach called the Housing Health and Safety Rating System
(HHSRS); the aim is to provide a system (not a standard) to enable risks from
hazards to health and safety in dwellings to be removed or minimised.
Why the new system?
It replaces the fitness standard which dated back to 1919. The fitness
standard did not deal with many of the hazards that affected health and
safety; in addition it was only a pass/fail standard with assessments giving no
indication as to how unfit (or how fit) a property was. Assessments made
under the fitness standard were ‘property based’ and did not directly consider
the effect of the particular defect or omission, on the occupant or visitor.
The HHSRS on the other hand addresses all the key issues that affect health
and safety, it provides an analysis of just how hazardous a property is and
includes evidence and statistical information to assist inspectors in making
their judgements.
Each year on average, housing conditions are implicated in up to 50,000
deaths and around 0.5 million illnesses requiring medical attention. These
statistics and many others form part of the evidence base of the system and
are drawn from extensive research in the UK (in this case the Home Accident
Surveillance System). The fitness standard did not address many of the
conditions that caused these deaths and injuries.
How is the system applied?
Local authorities have a duty to keep the housing conditions in their area
under review. Either as a result of that review, or for some other reason such
as a complaint from a tenant or a neighbour, they can inspect a property if
they have reason to think that a health or safety hazard exists there. The
scoring of hazards found during an inspection must be carried out in
accordance with the method set out in the HHSRS Regulations.
As well as providing the legal basis for HHSRS, the 2004 Act contains a
package of enforcement measures for local councils to use. These powers
can be used to deal with poor housing in the private sector, or any housing
owned by a public sector landlord such as the Ministry of Defence, the NHS, a
Fire and Rescue Authority or the police, unless it has Crown exemption.
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Councils have a duty to deal with hazards which are assessed as ‘Category 1’
under HHSRS, and discretionary powers to deal with ‘Category 2’ hazards these terms are explained below. In practice, however, these powers are not
used in council stock because councils cannot enforce against themselves.
This is very similar to the previous situation, except that HHSRS has replaced
the fitness standard and other requirements under previous Housing Acts.
The main incentive for improvements in the housing owned by councils and
housing associations (also known as registered social landlords (‘RSLs’) is
the Decent Home standard, set by the Office of the Deputy Prime Minister,
which incorporates HHSRS as a hazard assessment tool. Although RSLs as
private landlords are also subject to enforcement action, a local authority
receiving a complaint about conditions in an RSL dwelling may first consider
the RSL's existing plans for complying with the Decent Home standard.
However, the council can still take enforcement action in an individual
dwelling if they think that the RSL's plans will not deliver improvements quickly
enough to deal with the problem affecting the tenant.
For further information about how local councils will use the HHSRS to deal
with hazards, see ‘How will the system be used in enforcement?’
What are the principles of the system?
The HHSRS provides a method of grading the severity of threats to health
and safety in any dwelling. A dwelling can include a:
•
house
•
self-contained flat
•
non self-contained flat
•
bedsit
•
a room in a university hall or similar residential building
and includes the means of access and shared or common rooms and
facilities.
The key principle of the system is that a dwelling, including the structure and
associated outbuildings and garden, yard and/or other amenity space, and
means of access, should provide a safe and healthy environment for the
occupants and, by implication, for any visitors.
The inspection process is a risk based assessment and considers the effect of
any ‘hazards’ in the property. Hazards are rated according to how serious
they are and the effect they are having, or could have, on the occupants, that
is, ‘the effect of the defect’. The basic principle is that the property should be
safe for occupation.
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The system also provides a means of comparing the risks associated with
different types of hazard. Some are slow and insidious in their effect, like
dampness and cold, whilst others are quick, such as falls. Some hazards are
more likely to result in death (such as carbon monoxide); others are very
unlikely to cause death e.g. noise or poor layout of amenities.
It should be borne in mind that all properties contain hazards, for example
stairs, electrical outlets etc. and it is not possible (or desirable) to remove all
hazards. The emphasis should be to minimise the risk to health and safety as
far as possible either by removing the hazard altogether or minimising the
effect, as appropriate. All references in this guide to removing hazards should
be read with this in mind.
The numbers (scores) that are a feature of the system are used to reflect
inspectors' judgements; they also allow comparison of widely differing hazards
and take account of the potential frequency of occurrence and severity of
outcome.
What are the hazards?
The system can deal with 29 hazards summarised as follows:
•
•
•
•
•
•
Dampness, excess cold/heat
Pollutants e.g. asbestos, carbon monoxide, lead
Lack of space, security or lighting, or excessive noise
Poor hygiene, sanitation, water supply
Accidents – falls, electric shocks, fires, burns, scalds
Collisions, explosions, structural collapse
More detailed information about these hazards can be found in the Operating
Guidance issued by the ODPM, details of which can be found at the end of
this guide.
Each hazard is assessed separately, and if judged to be ‘serious’, with a ‘high
score’, is deemed to be a category 1 hazard. All other hazards are called,
unsurprisingly, category 2 hazards.
The chart below sets out more information relating to every hazard.
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How are inspections carried out?
Inspections are essentially carried out in the traditional fashion, i.e. a physical
assessment of the whole property during which deficiencies (faults) are noted
and recorded.
Once the inspection has been completed, the inspector judges:
a)
whether there are any hazards
b)
the likelihood of an occurrence and the range of possible outcomes for
those hazards
Who will carry out inspections?
This depends on the purpose of the inspection and on whose behalf it is being
carried out. If it is being carried out on behalf of a council, it will be
undertaken by staff who previously carried out inspections to deal with
unfitness and disrepair. In the majority of cases they will be Environmental
Health Officers. Private surveys using the system may be carried out by
anyone with building/surveying expertise who has studied or been trained in
the use of the system. Assessments under the Rating System are
significantly different from traditional house condition surveys (see below).
How are assessments made?
The assessment process is not just a question of spotting defects, but is all
about risk assessment, outcomes and effects.
When an inspector finds a hazard, two key tests are applied – what is the
likelihood of a dangerous occurrence as a result of this hazard and if there is
such an occurrence, what would be the likely outcome?
For example a staircase that had a broken stair would represent a serious
hazard in that an occupant could trip or fall down the stairs. However a
broken stair at the top of the staircase would obviously be more dangerous
than one at the bottom. If, for example, a glass door was situated near the
bottom of the staircase, that would increase the potential severity of the
outcome even more.
Dwellings are assessed against the average for the type and age of building.
The inspector also judges whether the condition increases or lowers the
likelihood of an occurrence. The system provides information about the
characteristics of average dwellings, as a basis for inspectors' own
assessments of the conditions they find. Inspectors will normally concentrate
on hazards that are likely to be worse than the average, but they will be able
to assess any of the 29 hazards on the basis of their observations or their
knowledge of hazards that are specific to particular areas, such as radon.
Where a hazard is designated as particularly relevant to people in a
vulnerable group, hazards are assessed according to their likely impact on
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that group. ‘Vulnerable’ here usually means children and the elderly. For
example, widely spaced balusters (spindles) on a staircase could be a hazard
for a child who could squeeze through and fall down the stairs. Similarly a
winding staircase with no handrail could be a hazard for an elderly person.
The action that needs to be taken to deal with a hazard will be influenced by
who is occupying it (see ‘How will the system be use in enforcement?’ below).
Once a property has been made safe for the most vulnerable, it should be
safe for all.
What is the likelihood?
An inspector judges the likelihood of an occurrence (such as an accident)
over the next twelve months which could result in harm to a member of a
vulnerable age group. An accident in which an occupant falls down stairs is
classified as an occurrence.
When assessing likelihood, inspectors are not predicting that there will
definitely be an occurrence. Even a very high likelihood (such as a 1 in 10
probability) means that the likelihood of no occurrence is nine times greater
than that of an occurrence.
Inspectors do not give an exact likelihood ratio, but will pick from a standard
range, e.g. 1 in 24 to 1 in 42 or the range 1 in 420 to 1 in 750. For each of the
ranges there is a ‘representative scale point’ which is used (see ‘How is the
score calculated?’).
What are the outcomes?
There are a range of four outcomes (classes of harm) which could arise from
an occurrence (such as an accident) which happens as a result of the
existence of a hazard (such as a broken stair).
For example, while death may be considered unlikely from a particular fall,
there may be a 10% chance of serious fractures, a 30% chance of severe
concussion and a 60% chance of severe bruising. The possible outcomes
from an occurrence are given as four classes of harm. The following table
shows the four classes of harm together with some examples:
Class I
•
•
•
•
Death from any cause
Lung cancer
Permanent loss of consciousness
80% burn injuries
Class II
•
•
Asthma
Lead poisoning
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•
•
Loss of a hand or foot
Serious fractures
Class III
•
•
•
•
•
Eye disorders
Sleep disturbance
Mild heart attack
Loss of a finger
Fractured skull and severe concussion
Class IV
•
•
•
•
•
Occasional severe discomfort
Occasional mild pneumonia
Broken finger
Severe bruising to body
Regular serious coughs or colds
How is the score calculated?
Each assessment of a hazard carried out using the HHSRS results in a score.
The score is a numerical representation of the degree of risk represented by a
hazard. Although the calculation can be carried out on paper or using a
handheld computer, most inspectors will use a computer software programme
operated on a handheld computer or desktop pc back in the office to calculate
the scores. All hazards are rated and scored individually. A formula is used
which takes into account the nature of the hazard, the likelihood of an
occurrence and the seriousness of the outcome (known as the spread of
possible harms). At its simplest, the formula is:
Risk (likelihood) x Outcome = Numerical Score
The calculation includes a ‘weighting’ to reflect more serious outcomes, such
as death (see examples below).
The inspector first assesses the likelihood of an occurrence over the next
twelve months which exposes a member of the vulnerable age group to a
hazard. This is expressed as a ratio e.g. 1 in 250, 1 in 18 or in 1 in 1,000. It
should be noted that these ratios represent a range of likelihoods – the
inspector does not have to decide on an exact likelihood. At this stage, only
the likelihood of an occurrence is considered - the severity of the occurrence
is considered at the next stage.
The severity of a potential hazard is then assessed in relation to a member of
the age group most vulnerable to the hazard and who might typically occupy
the dwelling – for some hazards, all age groups are equally vulnerable while
for others, such as gaps between balusters, the hazard would be judged in
terms of a young child.
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The likelihood and the severity combine to generate a hazard score. Scores
are divided into ten bands (A to J); band A is the most serious and J the least
serious. Hazards which fall into bands A to C are category 1 hazards with
those in bands D to J are category 2 hazards.
In simple terms, the greater the risk (likelihood), or more serious the outcome,
the higher the overall score. An example of a high score would be a gas
water heater leaking carbon monoxide – the risk is high and the outcome
could be death.
How does this work in practice?
The following worked examples illustrate how the assessment process works
in practice.
Example hazard rating – 1
Assessment of a fall out of a ground floor sash window with a low sill, and no
safety catches. In this case, the most vulnerable category of occupant or
visitor to consider would be a young child:
Likelihood – 1 in 56
Spread of harm outcomes:
Class I
Class II
Class III
Class IV
– 0% death judged very unlikely
– 10% chance of serious fractures
– 30% chance of severe concussion
– 60% chance of severe bruising
Class of Harm
Weightings
Likelihood
Spread
10,000 (Class I)
÷
56
X
0
=
0
1,000 (Class II)
÷
56
X
10
=
179
300 (Class III)
÷
56
X
30
=
161
10 (Class IV)
÷
56
X
60
=
11
Hazard score
351
This hazard score equates to band E, or a category 2 hazard
Example hazard rating – 2
Assessment of a fall out of a similar window but from a fifth floor room. It is
not likely that such a window would be found in practice, but the example
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illustrates the effect of a more serious outcome. Again, the most vulnerable
occupant to consider would be a young child.
Likelihood – 1 in 56
Spread of harm outcomes –
Class I
Class II
Class III
Class IV
– 50% chance of death
– 30% chance of serious fractures
– 20% chance of severe concussion
– 0% chance of severe bruising alone
Class of Harm
Weightings
Likelihood
Spread
10,000 (Class I)
÷
56
X
50
=
8929
1,000 (Class II)
÷
56
X
30
=
536
300 (Class III)
÷
56
X
20
=
107
10 (Class IV)
÷
56
X
0
=
0
Hazard score
9572
This hazard score equates to band A or a category 1 hazard
What do the spread of harms mean?
If 100 people seek medical attention after having had a fall on the stairs:
W% will end up in the mortuary or intensive care –
X% will have broken several bones and will be hospitalised –
Y% will be patched up at A&E and referred to Out-Patients –
Z% will be treated by their GP and go home –
Class I
Class II
Class III
Class IV
W + X + Y + Z must equal 100
A number of detailed worked examples can be found on the website of the
relevant government department (see “Further reading” at the end of this
guide)
How will the system be used in enforcement?
As outlined above, local councils are obliged to deal with poor housing
conditions in their areas – primarily in the rented sector but occasionally in the
owner occupied sector.
The hazard score does not dictate the action to be taken, but councils have a
duty under the Act to take action of some kind if they discover a category 1
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hazard in a property, and a power to take action to deal with a category 2
hazard. Their first step should be to approach the landlord informally - this is
recommended by the Government under the Enforcement Concordat (see
below). However, the amount of leeway allowed to a landlord informally will
be at the council's discretion. If the landlord does not respond, the council is
most likely to move into formal action by serving an improvement notice on
the owner (or agent as appropriate) requiring that the hazard(s) be removed
or minimised within a set time – generally 28 days. In more serious cases, a
council may serve a prohibition order prohibiting the use of all or part of a
dwelling.
If a category 1 hazard is so serious as to represent an ‘imminent risk of
serious harm’ to the occupants, the council can serve an emergency notice to
remove the hazard (one example of such a risk would be dangerous electrical
installations or wiring). Such a notice allows a council to enter the premises
and take urgent action to deal with the hazard. Councils can then charge
owners for the cost of this work, but owners have a right of appeal against the
notice and the costs involved. Councils can also use emergency prohibition
orders to close down access to all or part of a building with immediate effect if
they feel that the situation is serious enough to warrant it.
Even without using emergency powers, a council can, with or without the
agreement of the owner, carry out the works required in a notice (and charge
accordingly). This procedure is usually used in emergency situations or
where all other negotiation has failed.
Alternatively, councils can prosecute owners for failing to comply with an
improvement notice or prohibition order. Such cases are heard in
magistrates’ courts.
It should be remembered that serious hazards are not always expensive to
remove. A category 1 hazard could, for example, be removed by fitting a lock
to a window or fixing a handrail to a staircase.
For minor hazards, a council could serve a hazard awareness notice which is
exactly what it says. Such notices are simply advice and do not actually
require owners to do anything (they are also not registerable as a land
charge). There may occasionally be situations where a council will serve
such a notice for a more serious hazard on, for example, an owner-occupier
where no tenants occupy the property and the hazard presents a minimal risk
to the current owner-occupier and does not affect anyone outside the
property.
If a hazard is specific to a child or elderly person but no children or elderly
people occupy the property, the council could decide to suspend the notice (or
part of it) until such time as a child or elderly person moves in. If a notice, or
part of it, is suspended the council is obliged to review the situation at least
once a year to check if the suspension continues to be justified, or should be
revoked so that the notice is activated.
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The Act gives councils the power to charge to recover the costs of
enforcement action; any such charge must be reasonable and can only cover
the council’s costs.
What are the grounds for appeal?
An owner or agent who has an improvement notice or prohibition order served
on him by a local council can appeal the notice, normally within 21 days.
Appeals are heard by a Residential Property Tribunal (RPT) set up under the
Act; RPTs have replaced the previous role of the County Court in hearing
appeals against such action.
There is no restriction on the ground of appeal but the main grounds for
appeal are likely to be that :
•
The deficiency referred to in the notice does not amount to a hazard;
•
someone else is responsible for carrying out work at the property and
the notice should be served on that person; and/or
•
the works required in the notice are unreasonable/excessive etc and
alternative works should be considered
RPT’s can be flexible in allowing appeals. RPTs may also mediate where
possible between local councils and owners/agents to try to resolve appeals
without a formal hearing.
If a notice is not complied with within the time allowed (usually 28 days),
prosecutions for non compliance are heard in magistrates courts. One
defence that would be considered at this stage is that the notice was
incorrectly served.
How do Residential Property Tribunals work?
RPTs operate in a similar way to Rent Assessment Panels. They are a more
informal way of considering appeals against notices served under the
HHSRS. Appeals panels consist of three people, a legal expert, a technical
expert and a lay member. The panel is always chaired by either the legal or
technical expert (the latter will often be a surveyor).
RPTs are informal bodies and do not operate like courts – they hear cases
presented by each side (in the case of the HHSRS this will be the landlord or
the agent and the local authority). Parties to an appeal to an RPT do not
need to be represented by lawyers. RPTs will usually make site visits to
properties which are the subject of an appeal but will generally not attempt to
second guess scores arrived at in the course of an HHSRS assessment,
unless the score itself is relevant to the appeal.
They will be primarily concerned with the suitability of measures set out in a
notice for the removal of hazards (as well as appeals claiming for example
that a notice should have been served on a different person). The RPT will
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consider alternative proposals from an owner for removing or minimising
hazards. Owners may wish to have an independent HHSRS assessment
(see ‘What is the landlord’s role?’ below) of their properties carried out if they
believe that works required in an improvement notice or prohibition order are
inappropriate or excessive.
Part of the first steps in considering an appeal is a case management
conference between all the parties. RPTs are also prepared to mediate by
facilitating informal discussions between local authorities and owners who
appeal notices; this is in an effort to filter out any appeals that are routine,
frivolous or misguided.
RPTs can allow an appeal (i.e. rule in favour of the owner), dismiss an appeal
or vary the requirements of a notice or order.
Appeals against a decision of an RPT can, with the permission of the RPT, be
made to a Lands Tribunal or, if the RPT does not give permission, an
application for permission to appeal can be made direct to a Lands Tribunal.
How do local councils decide on their enforcement policies?
All local councils are required to produce housing strategies which should
address all housing issues across all sectors. As outlined above, the HHSRS
applies across all sectors. Whilst RSLs are required by the Decent Home
standard to ensure that their properties are properly maintained, local councils
can still take action against RSLs that fail to remove or minimise hazards in
their properties.
Although the exact detail and approach local councils take to enforcement will
vary, the vast majority of local councils in England and Wales have signed up
to a voluntary agreement known as the ‘Enforcement Concordat’ . The
Concordat, which was produced initially by the government, incorporates the
following principles:
•
Standards: setting clear standards
•
Openness: clear and open provision of information
•
Helpfulness: helping business by advising on and assisting with
compliance
•
Complaints: having a clear complaints procedure
•
Proportionality: ensuring that enforcement action is proportionate to the
risks involved
•
Consistency: ensuring consistent enforcement practice
Anyone who believes that a local council is not adhering to these principles in
carrying out enforcement is entitled to challenge the council and ask for an
explanation or comment. Such a challenge could be made to the chief officer
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of the relevant department, the chief executive of the council or to a local
councillor.
What is the landlord’s role?
The intention of the HHSRS is to ensure that owners maintain their properties
in a safe and ‘healthy’ state, i.e. free from hazards that may affect the
occupier’s health and or safety. Owners are obliged to comply with the terms
of improvement notices or prohibition orders (subject to rights of appeal).
If as a landlord you employ an agent, you must ensure the agent is able to
arrange necessary work and ensure that adequate funds are available to do
this.
If as a landlord you wish to have an independent survey of your property
carried out under HHSRS (perhaps in preparation for an appeal against an
improvement notice), most private surveyors will be able to provide such a
service. It is important to ensure that the surveyor appointed to carry out the
survey is fully conversant with the HHSRS as inspections under the system
differ significantly from traditional structural surveys. There are a number of
independent Environmental Health Officers who will also be able to carry out
a survey independently of the local council for the area. To find a surveyor,
consult the following:
1.
Chartered Institute of Environmental Health www.cieh.org
Search the consultants directory under ‘housing’
2.
Royal Institution of Chartered Surveyors www.rics.org
Search under ‘find a surveyor in your area’
3.
Many other national and local surveying services can readily be found
using internet searches.
What is the agent’s role?
Many agents will have the responsibility of organising works to comply with
notices on behalf of their clients. Most local councils will include, with the
notice, a schedule of works required to remove or minimise a hazard. If a
schedule of work is not included with a notice, the council could be asked to
provide one but there is no legal duty on a council to do so. The notice must
though include details of the nature of the hazard and the deficiency, or fault
that gives rise to the hazard.
Where can I get more information?
The key sources of reference can be found on the website of the Office of the
Deputy Prime Minister (ODPM), which is the government department
responsible for HHSRS. All the documents can be downloaded and hard
copies of most can be ordered (details are on the website). The main address
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is www.odpm.gov.uk ; search under Housing/Making homes decent/Housing
Health and Safety Rating System.
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